Director - Bank Regulatory Compliance Officer, Td Securities (us)
TD
New York, NY, United States
Base: $180,000 - $225,000 usd; bonus/equity: not s...
Bank regulatory compliance expertise
Frb and occ regulations knowledge
Second line compliance controls
This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team focused on remediation and program development within TD Securities
Job Summary
This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team focused on remediation and program development within TD Securities.
The role involves providing real-time interpretive guidance on regulatory requirements and managing compliance activities related to TD's New York Branch.
TD offers a comprehensive Total Rewards package including base salary, variable compensation, health benefits, retirement programs, paid time off, and career development opportunities.
Matching Summary
This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team focused on remediation and program development within TD Securities.
Salary
Base: $180,000 - $225,000 USD; Bonus/Equity: Not specified; Benefits: Health, retirement, paid time off, career development
Skills & Requirements
Must-have
Bank regulatory compliance expertise
FRB and OCC regulations knowledge
Second line compliance controls
Regulatory program development
Stakeholder guidance and support
Compliance training delivery
Internal investigations participation
Nice-to-have
Strong interpersonal and communication skills
Client service and relationship building
Analytical and detail-oriented mindset
Self-starter with learning aptitude
Proficiency in Excel, Word, PowerPoint, SharePoint
Knowledge of market surveillance systems
Key Requirements
BA/BS degree required; JD desirable
8 to 10 years compliance experience in US financial institutions
Experience with registered US broker dealer, swap dealer, or GSIB
Strong understanding of FRB and OCC regulations
7-10 years related experience
Ability to work in fast-paced, deadline-driven environment